Kuo, Shu-Chuan 郭淑娟
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | FT Securities Limited | Rep | Advising on corporate finance | 2004-05-18 | Rep | Advising on securities | 2004-05-18 | Rep | Asset management | 2004-05-18 | Rep | Dealing in securities | 2006-05-24 | Rep | Advising on futures contracts | 2005-09-30 | 2006-05-24 | Rep | Dealing in futures contracts | 2005-09-30 | 2006-05-24 |
| 2 | JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-05-18 | Rep | Asset management | 2004-05-18 | Rep | Dealing in futures contracts | 2005-10-04 |
| 3 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Advising on futures contracts | 2006-06-23 | 2012-09-03 | Rep | Dealing in futures contracts | 2006-06-23 | 2012-09-03 | Rep | Dealing in securities | 2006-06-23 | 2012-09-03 | Rep | Advising on securities | 2006-07-03 | 2012-09-03 |
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